Statement of Changes in Beneficial Ownership (4)
September 27 2021 - 6:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Swayman Robert |
2. Issuer Name and Ticker or Trading Symbol
Red Violet, Inc.
[
RDVT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O RED VIOLET, INC., 2650 N. MILITARY TRAIL, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/24/2021 |
(Street)
BOCA RATON, FL 33431
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/24/2021 | | A | | 7400 (1) | A | (1) | 55066 (1)(2)(3) | D | |
Common Stock | | | | | | | | 5083 | I | See Footnote (4) |
Common Stock | | | | | | | | 8000 | I | See Footnote (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On September 24, 2021, the reporting person received a grant of 7,400 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vest in approximately three equal installments on each of October 1, 2022, October 1, 2023 and October 1, 2024, subject to accelerated vesting under certain conditions. The RSU grant includes an award of 2,400 RSUs for serving as a member of the Company's Board of Directors and 5,000 RSUs for serving on the Audit Committee. |
(2) | On November 20, 2020, the reporting person received a grant of 4,500 RSUs, convertible into common stock of the issuance on a one-for-one basis, which vest in approximately three equal installments on each of November 1, 2021, November 1, 2022, and November 1, 2023, subject to accelerated vesting under certain conditions. |
(3) | Includes 2,666 RSUs convertible into common stock originally granted on October 28, 2019. The RSUs vest on September 1, 2022, subject to accelerated vesting under certain conditions. |
(4) | Shares held through BSIG, LLC, of which Mr. Swayman is a member. |
(5) | Shares held by a family trust of which Mr. Swayman serves as co-trustee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Swayman Robert C/O RED VIOLET, INC. 2650 N. MILITARY TRAIL, SUITE 300 BOCA RATON, FL 33431 | X |
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Signatures
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/s/ Robert Swayman | | 9/27/2021 |
**Signature of Reporting Person | Date |
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